Engineering, Construction and Architectural Management 2000 7  2, 141 153

Rethinking construction: the Generic Design and

Construction Process Protocol
M I C H A I L K A G I O G L O U , R A C H E L C O O P E R, G H A S S A N A O U A D* & M A R T I N S E X T O N*
Research Institute for Design and Manufacture, University of Salford, Centenary Building, Peru Street, Salford, M3 6EQ
and *Research Centre for the Built and Human Environment, University of Salford, Salford, M5 4WT, UK

Abstract The complexity of construction projects and

the fragmentation of the construction industry undertaking those projects has effectively resulted in linear, uncoordinated and highly variable project processes in the UK
construction sector. Research undertaken at the University of Salford resulted in the development of an improved project process, the Process Protocol, which
considers the whole lifecycle of a construction project
whilst integrating its participants under a common framework. The Process Protocol identifies the various phases
of a construction project with particular emphasis on

what is described in the manufacturing industry as the

fuzzy front end. The participants in the process are
described in terms of the activities that need to be
undertaken in order to achieve a successful project and
process execution. In addition, the decision-making
mechanisms, from a client perspective, are illustrated
and the foundations for a learning organization/industry
are facilitated within a consistent Process Protocol.
Keywords activity zones, design and construction,
project process, process map, Process Protocol, stage
gate

INTRODUCTION

focused on the fragmented nature of the industry as a

major contributing factor to the poor communication
between all parties working on a construction project.
The main outcome and recommendation of the
Latham report was its call for significant cost savings
by the utilization and formulation of effective construction processes, which will in turn lead to increased performance. The recommendations of this
report were reaffirmed in a recent report by Egan
(1998), which reported to the deputy Prime Minister
John Prescott on the scope for improving the quality
and efficiency of UK construction. This report identified the following five key drivers of change that need
to set the agenda for the construction industry at large:

The construction industry in the UK is plagued with a

number of problems, which have not disappeared in
the last few decades. Those problems have been illustrated by several government reports, including Simon
(1944) and more recently the Latham (1994) and
Egan (1998) reports. The findings are familiar practice
to the majority of the industry, which is still striving
towards improvements in a number of areas, but apparently with little success. There are three main areas
for consideration:
1. development of a solution: including consultation
with the client and development of product specifications and design;
2. implementation of the solution: the construction or
refurbishment of the facility that will satisfy the
client needs and those of the project participants;
and
3. the project process: the roadmap or framework that
is used for undertaking the project activities and
that delivers value to the supply chain parties.
It is, however, almost impossible to consider any of
the aforementioned areas in isolation as they are all
interdependent and suboptimization does not guarantee project success.
The Latham (1994) report reaffirmed the conclusions of all previous studies on the subject. The report

2000 Blackwell Science Ltd

1.
2.
3.
4.
5.

committed leadership;
focus on the customer;
integrated processes and teams;
quality-driven agenda; and
commitment to people.

Within the focus for integrated processes and teams,

four key elements were identified: product development; project implementation; partnering the supply
chain; and production of components. Furthermore,
the Egan (1998) report called for annual reductions of
10% in construction cost and time and an annual
reduction of 20% in project defects. This total performance improvement of 30% requires significant improvements in the way that the construction process is

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enacted. It will require a significant reengineering of

the construction process and the subprocesses involved in undertaking construction works.

LEARNING FROM MANUFACTURING

The findings and recommendations of Latham and
Egan relate to the state of the construction industry
at the present time and offer some clues as to how
some of the problems might be overcome by transferring established practices from the manufacturing industry. Indeed, this view has been expressed by a
number of researchers and practitioners (Cooper et al.
1998; Kagioglou et al. 1998a; Koskela 1992). However, the authors believe that the transfer of knowledge and practices from manufacturing into the
construction industry should be treated with caution
for a number of reasons. First, the level of maturity of
both processes and practices is quite different, with
manufacturing having the lead. Second, the structure of the industries and of the organization of project personnel can be different, in that construction
relies heavily on Temporary Multi-organizations
(TMOs) whereas manufacturing normally operates
within long-term partnership arrangements. Finally,
comparison between the processes and the practices
of both industries must be made by considering the
levels in which they exist, i.e. strategic, managerial
and operational. Therefore, clarification of process
levels can have an important influence on the management of those processes.
There are two main areas of manufacturing that
construction can benefit from (Kagioglou et al.
1998b): the project process or New Product Development (NPD), as it is known; and the operational/production processes. The first relates very closely, both
in terms of nature and content, to the design and
construction process. As such, it considers the development of a solution (usually a tangible product)
from a need identified in the market place or internally within an organization to the implementation of
that solution and the eventual withdrawal of the
product. This is achieved by organizing the activities
that need to take place in a number of phases, which
are made distinct by the determination of review
points between the phases. This is very similar to the
enactment of a construction project, the difference
being that the distinction between the phases is usually determined by the entry of the different parties/
functions, i.e. architects, contractors etc., to the
process. The second area is related to the way in
which the production of a product, including material

flow, process design and resources planning, is undertaken. Indeed, a number of very effective philosophies
and practices such as Just in Time (JIT), lean production and others have a legacy of optimized production in the manufacturing sector. JIT aims to
improve production by utilizing the internal and external supply chains in terms of people and material
flow. The similarities of JIT, for example, in the construction sector can be illustrated by listing a number
of the benefits, amongst many, that are offered by its
successful implementation:

reduced time-scales by optimizing material flow;

reduced waste of both materials and processing
time by optimizing the manufacturing processes;
and
supply chain integration by utilizing effective
partnerships.

The first two benefits can be realized in the construction industry (see, for example, Koskela 1992)
perhaps more readily than the third one, which requires a significant reorganization and mind-shift of
the litigation-driven industry.
This paper concentrates on the lessons that can be
learned from the NPD/project process of manufacturing, and reference to it is made throughout the description of the Generic Design and Construction
Process Protocol (GDCPP).
THE GENERIC DESIGN AND
CONSTRUCTION PROCESS (GDCPP)
PROTOCOL
This section presents a description of the research
methods and the main findings of an Engineering and
Physical Sciences Research Council (EPSRC) funded
project under the Innovative Manufacturing Initiative
(IMI) Construction as a Manufacturing Process initiative. The project brought together a number of
companies, representing the construction supply
chain, and the University of Salfords research expertise to produce the Generic Design and Construction
Process Protocol.
The main aims of the project were to:

develop an improved design and construction Process Protocol by analysing the current practices in
the construction industry and drawing comparisons
with similar practices in the manufacturing industry; and
identify the Information Technology (IT) requirements needed to support the Process Protocol and

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The Generic Design and Construction Process Protocol in construction

develop demonstrator models (the results of the IT

investigation are presented elsewhere).
This project involved contractors, clients, IT specialists and the supply chain coming together
with academia through a government-stimulated research programme to develop an improved design
and construction process. This also enabled the
production of a solution that is devised, owned and
satisfactory to all parties. The GDCPP project and
this paper relate most appropriately to the research
programme under which it is funded (Construction as a Manufacturing Process), and the nature of
Lathams and Egans philosophical approaches to
achieving the resolution of client dissatisfaction, construction industry dissatisfaction and supply chain
problems.
Concept of Process Protocol
The concept of the Process Protocol was based on
a number of issues and deficiencies of current practices in the construction industry. This enabled the
identification of areas for improvement by examining
and comparing best practice in manufacturing project
processes. To this end, a need was identified for
a model that is capable of representing the diverse
interests of all the parties involved in the construction
process or that is able to provide a complete overview. In addition, the design and construction operations need to form part of a common process (model) best controlled by an integrated system.
This has been achieved successfully in manufacturing
and other industries through process modelling
and the reengineering of those processes (Rosenau
1996). In order for construction to utilize such
a model/process approach, there is a need for a coherent and explicit set of process-related principles,
a new process paradigm, which can be managed and
reviewed across the breadth and depth of the industry
and which focuses on changing and systematizing
the strategic management of the potentially common management processes in construction whilst
accommodating the fragmentary production idiosyncrasies. In addition, it is appreciated that there will
be no best way for all circumstances; however, a
generic and adaptable set of principles will allow the
consistent application of principles in a repeatable
form. Finally, a philosophy of early entry into the
process of the key functions needs to be incorporated,
with the emphasis of the effort on design and planning to minimize both error and reworking during
construction.

RESEARCH METHODOLOGY
The research team endeavoured to use a methodology
that was sympathetic to the issues being investigated:
in effect to suit the method to the problem, and not
the problem to the method (Linstone 1978). Furthermore, it was appreciated that different types of issues
would be encountered during the development of the
Process Protocol, and that these often disparate issues
would be best served by a variety of research methods.
To provide the necessary contingency-based, but integrated, research methodology to accommodate these
differing demands in a coherent and consistent way, an
overall research model was developed, as shown in Fig.
1.
The outer ring of Fig. 1 represents the unifying
research philosophy, which guides and energizes the
inner research approaches and research techniques.
Research approaches consist of the dominant theory
generation and testing methods. Research techniques
comprise data collection tools.
The nesting of the models elements generated a
framework, which provided the research team with an
interactive portfolio of approaches and techniques that
benefited from meta-level direction and cohesion.
Each of the models elements will be briefly discussed.

Actor-based research philosophy

The overarching research philosophy used in the GDCPP project was the preunderstanding understanding
hermeneutic spiral (Odman 1985), grounded in actor

Figure 1 Overall GDCPP research model.

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Action research
The methodology was infused with an action research/
learning dimension, in as much as the workshops not
only facilitated the generation of new knowledge or
understanding but also provided structured frameworks
for carrying out organizational change within the
boundaries of the industrial partner research team
members.
The action research strand was firmly anchored to
the following interactive assumptions:

Figure 2 Hermeneutic learning spiral.

research philosophy (see, for example, Berger & Luckmann 1966; Sandywell 1975). The spiral, shown in
Fig. 2, depicts research as an iterative process whereby
the industrial partners and the University of Salford
research teams a priori knowledge, insights and experience form the preunderstanding, or common language,
to inform the subsequent stage of understanding, which
furthers the development of the Process Protocol.
This understanding, in turn, is the basis for the
preunderstanding of the next stage of development,
and so on.
The main conduit for the translation and elevation
of preunderstanding into understanding were workshops, although crucial preunderstanding/understanding was transferred and developed through an ongoing
dialogue both prior to and between the workshops.
The workshops and intervening dialogue improved
both individual and collective learning throughout the
project team.

the optimal way of learning about the design and

construction process was through attempting to initiate a generic Process Protocol-based change
within it;
the industrial partners who would be affected by, or
instrumental in, these changes should as far as
possible be involved in the workshops; and
workshop participation would encourage industrial
partner members to generatively learn as they discovered how to make sense of the Process Protocol
in terms of their own language and organizational
setting.

The action research model shown in Fig. 3 was

implicit in the design and implementation of the workshop stages. The model channels the action research
effort through an optimal flow of stages starting with
bringing the workshop team together in the centre and
then moving to agreeing the scope for action at the
top.

Research approaches

Case studies
A traditional case study approach was used, with University of Salford researchers entering industrial partners organizations openly in the role of investigators,
with the express purpose of learning more about their
activities with respect to the design and construction
processes being practised. Three case studies were
undertakenone in a manufacturing organization and
two projects undertaken by Alfred McAlpines Special
Projects Division.

Figure 3 The action research process model.

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The process is not linear, but interactive.

Techniques of research

Questionnaire surveys
Use was made of self-completion questionnaires during the initial scoping and case study elements of the
project. The questionnaires collected predominantly
qualitative data from the partners in the project.
The questionnaire surveys aimed to generate factual
and attitudinal information and understanding (see, for
example, Ackroyd & Hughes 1983). The factual elements of the questionnaires sought to gain information
from individuals within the industrial partners firms
concerning the material aspects of design and construction processes: for example, project duration
time. The attitudinal aspects of the questionnaires
aimed to secure data on what individuals felt about a
given issue: in this case, for example, what they felt
about the effectiveness of the prevailing performance
review process.

Workshops
The workshops carried out during the project were
central to fruitful preunderstanding and understanding
progression. Each workshop had a specific task to
investigate, which was set out and managed by a
University of Salford co-ordinator. The workshop
configuration, in effect, created a boundary-spanning
team, which could tackle complex process issues by
bringing together and harnessing a diverse range of
expertise in a structured way.
The Workshops were designed and implemented to:

Provide feedback such that the co-ordinator facilitated

learning by providing workshop members with feedback about the consequences of issues being raised
and decisions being taken.
Stimulate questioning: the co-ordinator facilitated
learning by asking questions that stimulated participants to think in new ways. For example, issues
were often reframed from a manufacturing perspective and returned to the forum as a question.
Permit modelling and validation: the co-ordinator encouraged learning and understanding through process models that participants could either adopt,
modify or reject. For example, the Process Protocol
map itself underwent numerous changes as a direct
result of workshop debate.

Provide support: the co-ordinator facilitated learning

by providing a psychologically supportive environment, thereby creating a climate where novel issues
and questions could be raised. For example, ideas
were generated from a variety of construction perspectives as well as an injection of diverse theoretical views.
Structuring: the co-ordinator facilitated learning by
structuring the flow of work. For example, in one
workshop, a hypothetical construction case was developed to explore process issues.

Interviews
Interviews were used throughout the research process.
In total, there were 30 interviews helping the development of the Process Protocol and 30 interviews during
the case study investigations. They were generally
semi-structured in nature to allow it to have an overall
purpose but be sufficiently flexible to explore issues as
they arose during the discussion. The contents of
interviews were validated by the sending of case study
reports for comment to the relevant industrial
partners.

Approaches to modelling the process

Given the apparent lack of commonality in the contemporary understanding of the design and construction process, an attempt was made to produce a model
of the process that could be debated and subsequently
refined towards a generic representation.
The initial model was developed based on existing
descriptions of the design and construction process
(inter alia Walker 1989; Hughes 1991), some case
study data and reviews of other published models (inter
alia RIBA 1980; Sanvido 1990; BAA Plc. 1995)
The Integration Definition language 0 for Function
Modelling (IDEF-0) process modelling technique was
adopted, initially, as the most appropriate means of
representing this process. It is this technique that has
been used to successfully represent processes such as
Sanvidos Integrated Building Process Model (Sanvido
1990).
In developing a process model using the IDEF-0
technique, an initial step is the establishment of the
activities that will comprise the model. These activities
were presented for discussion in preliminary workshop
sessions with the projects industrial partners. However, initial reactions to this were poor, principally
because such an approach did not facilitate communication of the process, either quickly or clearly.

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Moreover, it was found that the partners, at this

stage, also preferred to concentrate on the general
principles of the process (see later section) rather than
the detail of the activities involved.
This preference for principles was found to have a
certain congruence with other models of manufacturing processes. Coopers discussion of the evolution of
the stage gate models in manufacturing (Cooper
1994) and other (inter alia GPT, Fisons) industrial
models demonstrate this. In such models, the graphical representation of the process conveys its inherent
principles.
Furthermore, the IDEF-0 technique has been found
to be effective when modelling as-is processes; however, it shows limitations when the modelling of an
improved will-be process is attempted. In response to
this, the project team has adopted a scenario-building
technique whereby the participants of workshops were
asked to act the roles of various functions in the
industry. In such, the current pitfalls of the design and
construction process were identified and improvements suggested. Those improvements were further
designed in a diagrammatic illustration of the process
(see Fig. 6), which was easy to understand and communicate while at the same time offered a vision of the
future.

Literature review
A wide literature review of primary, secondary and
tertiary sources was carried out.
The following literature reviews were undertaken.

Literature review of NPD in manufacturing

NPD in manufacturing relates closely to the design
and construction process. This literature review identified the development of the stage gate approach
through three generations and its use in the manufacturing industry. It also identified the key principles
underlying stage gate methodologies, which could be
transferred to the construction sector.

Literature review of process in construction

This identified the various research groups conducting
relevant work. For example, Agile construction (Bath
University), Design Management (Loughborough
University), Construction Business Process Reengineering CORE (Southampton University), Sanvido
(Pennsylvania University) and Lean Production (VTT
Finland). The review also identified some construc-

tion-related process maps such as BAA, RIBA plan of

work and British Property Federation (BPF).

Literature review of IT support for construction

Projects such as Architecture, Methodology and Tools
for Computer-Integrated Large-Scale Engineering
(ATLAS), COmputer Models for the Building INdustry in Europe (COMBINE), COnstruction Modelling
and Methodologies for Intelligent information inTegration (COMMIT), Simultaneous Prototyping for An
integrated Construction Environment (SPACE), Information/integration for CONstruction (ICON), Open
Systems for CONstruction (OSCON) were investigated as to their relevance to the project.
These literature reviews enabled the development of
the key principles underlying a process for design and
construction. In conjunction with an assessment of
process modelling techniques, the reviews contributed
to a first model of the Process Protocol and the IT,
which could support it.

KEY PRINCIPLES OF THE PROCESS

PROTOCOL
As a result of the initial review of the literature and the
identification of the industrys requirements through
additional interviews with practitioners, six key principles are considered to provide the basis for an improved process. They are drawn heavily from the
manufacturing sector, where process thinking and continuous improvement has been focused on for some
30 years. In addition, many of the principles relate to
recognized problem areas in construction, where significant improvements have been called for (inter alia
Banwell 1964; Latham 1994). The six principles are as
follows.

Whole project view

In the construction industry, the definition of a project
has traditionally been synonymous with actual construction works. As such, the pre- and postconstruction activities have been sidelined and often
accelerated to reach the construction stage or to move
on to the new job. This has resulted in poor client
requirements identification and has delayed the exposure of any potential solutions to the need to any
internal and external specialists. Any contemporary
attempt to either define or create a design and construction process will have to cover the whole life of
a project from recognition of a need to the operation of

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Figure 4 The stage gate approach.

the finished facility and, finally, to its demolition. This

approach ensures that all issues are considered from
both a business and a technical point of view. Furthermore, it recognizes and emphasizes the interdependency of activities throughout the duration of a
project. It is also focused at the front end activities,
whereby attention is paid to the identification, definition and evaluation of client requirements in order to
identify suitable solutions.

The potential benefit of this approach is fundamentally the progressive fixing and/or approval of information throughout the process. As Cooper (1994) stated,
the discipline of the phase review activity improved the
conventional chaotic, ad hoc approach of manufacturing to which the construction industry of today could
be compared.

A consistent process

Co-ordination is one area in which construction is

traditionally perceived to perform poorly. This perception is supported by Banwell (1964) and Latham
(1994), in addition to many other reviews of the
industry. The need for improved co-ordination was
also highlighted by the interviews with senior managers
undertaken during the research project.
It is, therefore, proposed that co-ordination of the
Process Protocol is undertaken, principally, by the
process/change management Activity Zones (see Fig.
6). Appointed by the client, the process manager will
be delegated authority to plan and co-ordinate the
participants and activities of each phase throughout
the process. The actions of the process manager are
supported by the change manager, through whom all
information related to the project is passed. In this
role, the change manager acts as the official interface
between both the Activity Zones in the process and,
ultimately, the legacy archive.

During the review of existing models and descriptions

of the design and construction process, it was quickly
established that little consistency existed. In such an
environment, the problems encountered by TMOs
working can be compounded. Luck & Newcombe
(1996) supported this view, describing the role ambiguity commonly associated with construction projects.
Development of this generic Process Protocol provides
the potential to establish its consistent application.
Consistency of use should reduce the scope for ambiguity. This, together with the adoption of a standard
approach to performance measurement, evaluation
and control, should facilitate a process of continual
improvement in design and construction.
Progressive design fixity
The stage gate approach found in manufacturing
processes (Cooper 1994) applies a consistent planning
and review procedure throughout the process, as
shown in Fig. 4.
Phase reviews are conducted at the end of each
phase with the aim of reviewing the work executed in
the phase, approving progress to the next phase, and
planning the resourcing and execution of the next one.
Cooper (1994), in his third generation process, saw
the need for conditional-go decisions at phase gates,
to accommodate aspects of concurrency. This philosophy is translated in the development of the protocols
phase gates. Phase gates are classed as either soft or
hard, with the soft gates allowing the potential for
concurrency in the process whilst ensuring that the key
decision points in the process are respected, as shown
in Fig. 5.

Co-ordination

Stakeholder involvement and teamwork

Manufacturing industries have recognized that multifunction teams, established in a development process,
reduce the likelihood of costly changes and production
difficulties later on in the process, by enabling design
and manufacturing decisions earlier in the process.
Conventionally, many building projects comprise a
team of participants assembled specifically to facilitate
the development of that single project. Consequently,
a complete project team rarely works together on more
than one project and, as Sommerville & Stocks (1996)
argued, this can negatively affect the assembled
teams performance. In addition, many key contributors are identified and included too late in the process.

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Project success relies on the right people having the

right information at the right time. Proactive resourcing of phases through the adoption of a stakeholder view should ensure that appropriate
participants (from each of the key functions) are consulted earlier in the process than is traditionally the
case. This, in itself, will not eliminate the problems
associated with TMO working. However, the active
involvement of all participants, especially in the early
phases of a project, may subsequently help to foster a
team environment and encourage appropriate and
timely communication and decision-making.

Feedback
In addition to the direct teamwork problems associated with TMOs, the ability to learn from experience
is also hampered by the continual formation and
break-up of project teams. Both success and failure
can offer important lessons for the future; however, the
fragmented and competitive nature of the construction
industry prevents the benefits of shared best practice
being utilized. The phase review process facilitates a
means by which project experiences can be recorded
throughout the process, thereby informing later phases
and future projects. Competitive advantage will arise
from how such experiences are acted upon. Shared
knowledge may not automatically increase the competitiveness of companies working in construction. This
Process Protocol, therefore, proposes the creation,
maintenance and use of a legacy archive, which acts as
a central repository or information spine (Sheath et al.
1996), for the information generated through each of
the phases of the process. The subsequent increase in
awareness, project to project, has the potential for
reducing risk and improving performance, which, over
time, may ultimately meet Lathams expectations.

Process Protocol elements

The Process Protocol model is presented in Fig. 6.
Essentially, the model breaks down the design and
construction process into 10 distinct phases. These are
grouped into four broad stages, namely preproject,
preconstruction, construction and postconstruction.

Preproject stage
The preproject phases relate to the strategic business
considerations of any potential project that aims to
address a clients need. Throughout these phases, the
clients need is progressively defined and assessed with
the aim of:

determining the need for a construction project

solution; and
securing outline financial authority to proceed to
the preconstruction phases.

In currently acknowledged models of the design and

construction process (inter alia RIBA 1980; British
Property Federation 1983; Hughes 1991 provides a
comprehensive review) and in recently published
client-focused guides (CIRIA 1995), this stage of a
project is given scant consideration, when compared
with the latter stages. However, the models assume
that clients have already established the need when
approaching the construction industry. Whilst there is
little evidence to suggest that this is not the case, it
would seem reasonable to assume that the knowledge
possessed by speculative building developers and consultants could assist any client in these early stages of
a project. The problems associated with the translation
of this need through the conventional briefing stage of
design (OReilly 1987) have the potential for substantial elimination via such an approach.

Preconstruction stage
With outline financial approval obtained, the process
progresses through to the preconstruction phases
where the defined clients need is developed into an
appropriate design solution. Like many conventional
models of the design process, these phases develop the
design through a logical sequence, with the aim of
delivering approved production information. The
phase review process, however, adds the potential for
the progressive fixing of the design, together with its
concurrent development, within a formal, co-ordinated
framework. Progressive fixity should not be confused
with design freeze although, to some, this may be a
desired aspect of the process. The major benefit of the
fixity of design is the potential for improved communi-

Figure 5 The fuzzy gate approach.

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Figure 6 The Generic Design and Construction Process Protocol (GDCPP).

The Generic Design and Construction Process Protocol in construction

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Upon completion of the construction phase, the Process Protocol continues into the postconstruction
phases, which aim to continually monitor and manage
the maintenance needs of the constructed facility.
Again, the full involvement of facilities management
specialists at the earlier stages of the process should
make the enactment of such activities less problematic.
The need for surveys of the completed property, for
example, should be avoided as all records of the development of the facility should have been recorded by
the projects legacy archive.

relations associated with each of the professions and

expert groups. As with all class distinctions, the effect
that this basis for organizational structure in design
and construction has is division.
A consequence of this traditional approach, by
which even the more recent forms of contract procurement (design and build, management contracting etc.)
are included, is the poor communication and co-ordination commonly associated with construction
projects.
The participants in the Process Protocol are referred
to in terms of their primary responsibilities and are
represented on the Y-axis of the process model. It is
recognized that traditionally, project to project, organizational roles and responsibilities change, resulting in
ambiguity and confusion (Luck & Newcombe 1996).
By basing the enactment of the process on the primary
responsibility required, the scope for confusion is potentially reduced and the potential for effective communication and co-ordination increased. The Process
Protocol groups the participants in any project into
activity zones. These zones are not functional but
rather they are multi-functional and represent structured sets of tasks and processes that guide and support the work towards a common objective (for
example, to create an appropriate design solution).
A single person or firm can carry out an activity zone
in small projects; however, in large and complex
projects, an activity zone may consist of a complex
network of people and between relevant functions
and/or organizations. Because they are multi-functional, membership of the zones is determined by the
specific project task and/or process. For example, design management often has important input in the
production management and facilities management activity zones amongst others and vice versa.
Of the activity zones associated with the model, not
all will be discussed here in detail. Most of the zones
are self-explanatory. However, the role of the process/
change management and development management
activity zones will be described, as they present a
significant departure from the conventional view of the
design and construction process.

The subprocesses: activity zones

Process/change management

The earlier involvement of the projects participants

throughout the process is a significant development of
the conventional approach to building. Traditionally, a
construction projects participants are referred to by
their professional or expert status. Ball (1996) demonstrated how this may be attributed to the inherent class

The process/change management activity zones are

essentially the interface between the development
management and the other project participants. Process management has a role independent of all other
activity zones. A distinction must be made between
this conventional view of a project manager and the

cation and co-ordination between the projects participants as they pass through each phase. Given the
dynamic market conditions that influence many construction clients decisions, the need for flexibility
must be addressed by the industry. At the end of these
phases, the aim is to secure full financial authority to
proceed. Only on such authority will the construction
phase commence; this decision will be easier to make
when the extent of the work and its associated risks
can be readily understood.

Construction stage
The construction phase is solely concerned with the
production of the project solution. It is here that the
full benefits of the co-ordination and communication
earlier in the process may be fully realized. Potentially,
any changes in the clients requirements will be minimal, as the increased cost of change as the design
progresses should be fully understood by the time
on-site construction work begins.
The hard gate that divides the preconstruction and
construction phases should not prevent a work package approach to construction and the associated delivery time benefits that this brings. As with all activities
in the process, where concurrency is possible it can be
accommodated. The hard and soft gates that signify
phase reviews merely require that approval is granted
prior to such an activity being carried out.

Postcompletion /construction stage

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The Generic Design and Construction Process Protocol in construction

process management role. Process management, as the

title suggests, is concerned with the enactment of the
process rather than the project. Key to the success of
each phase in the process is the production of project
deliverables (reports and documentation associated
with each phase). In this respect, the process management is responsible for facilitating and co-ordinating
the participants required to produce the necessary
deliverables. Acting as the development managements
agent, it will ensure the enactment of each phase as
planned, culminating with the presentation of the deliverables at each end of phase review.
The change management function is further distinct
from the process management zone, as this role is
solely concerned with (as its name also suggests) the
management of change(s) that occur during the process. As the project becomes increasingly defined as
each phase is enacted, changes (or rather updates) to
the information required for the development of the
project will be produced. These updates will be contained within the work required to develop the deliverable documentation associated with each phase. With
respect to this, the change management activity zone
facilitates the holding, review and dissemination of all
this information as the project progresses.
It is within the change management function that IT
potentially plays a fundamental role. Given the vast
amount of information generated throughout a
projects lifecycle (Aouad et al. 1994), and the need for
its quick and effective dissemination, IT may offer a
capable solution. However, the need for judgement
and discretion, especially in the earlier strategic phases
of the process, will always involve the development
managements intervention and this alone is likely to
prohibit the use of IT as a total solution. Aouad et al.
(1998) further described the role of IT within the
Process Protocol.

Deliverables
Each gate of the Process Protocol represents a decision-making point. The decisions are based primarily
on documented project and process information,
which are called deliverables. They are primarily compiled by project management to form the phase review
report. The report includes all the deliverables (see Fig.
6) specific to the phase and as they are defined by the
Process Protocol for the specific project. This phase
review report forms the basis for the client body (i.e.
development management) to make a decision concerning the future of the project.

The deliverables are live documents, which change

throughout the majority of the process. They can be in
one of the following states:

initial: preliminary information is presented;

updated: current information is updated;
revised: major changes/decisions will significantly
alter the content and context of the deliverable; and
finalized: the information presented is agreed and is
unlikely to change throughout the duration of the
project.

Summary and concluding remarks

The principles of the Process Protocol can, therefore,
be summarized as a framework model that is capable
of representing the diverse interests of all the parties
involved in the process, which is sufficiently repeatable
and definable to allow IT to be devised to support this
management and information management. Therefore, a mechanism by which the systematic and consistent interfacing of the existing practices, professional
practice and IT practice support tools can be facilitated. The simplicity within the protocol allows its
interpretation and flexible application. This is achieved
at a variety of strategic levels across a variety of scales
of projects, using combinations of virtual teams and IT
systems; all are based within clarity in terms of what is
required from whom, when and with whose co-operation; for whom the requirements are to be delivered,
for what purposes and how they will be evaluated
(through the phase review board). Other principles
underlying the Process Protocol were the standardization of deliverables and roles associated with achieving
managing and reviewing the process and the product.
The Process Protocol is divided into a series of
subphases defined as preproject, preconstruction, construction and postconstruction; within each of these
major phases are subphases that can be operated concurrently or concatenate to make the process more
efficient in smaller scale projects.
Novelty arises within the Process Protocol in a number of areas, in particular: the extension of the
boundaries of design and construction process into the
requirements capture phase of prebriefing client decision-making; the extension of the boundary of the
process beyond practicable completion to allow the
management of use and the learning from performance
in use to improve the product and process for future
projects; the creation of an explicit process management and change management role to co-ordinate the
functionaries and deliverables associated with the pro-

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Kagioglou M. et al.

cess, the information that supports the functional roles

and is delivered via the creation and products, and a
stable platform to allow innovations in process and in
products and operations to be facilitated in a co-ordinated and repeatable manner.
Subprocess development
The effective implementation of the Process Protocol
will greatly depend on its ability to effectively translate
the strategic to the operational level. To this end,
further work (which has been initiated) is needed in
examining the subprocesses (activity zone) and to produce generic maps for those subprocesses.
In such a way, the underlying principles and
philosophies of the Process Protocol will form the
framework for company/project-based wide adoption
and effective implementation. This is confirmed by the
adoption of the Process Protocol by the CRISP Process Group with the comment that sublevel process
definition needs to be defined. In addition, such development will address all of the issues identified in the
Construction Round Table (CRT) Agenda for
Change. Furthermore, a number of companies such
as Alfred McAlpine, BT, Tarmac, AMEC, BNFL,
BAe, and institutions such as the International Alliance for Interoperability (IAI) Client Briefing Domain have adopted the Process Protocol as a
framework and process management mechanism.
Furthermore, a generic (subprocess) process will
also contribute to cultural change in terms of improved
communication and process management between the
fragmented groups within the construction industry.
ACKNOWLEDGEMENTS
The authors would like to acknowledge the contributions of John Hinks, Darryl Sheath, all of the partner
companies and those companies and institutions who
enabled the data collection. In addition, we are grateful to the Engineering and Physical Sciences Research
Council (EPSRC) for their funding and support.
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